Blogs
Posts tagged with Sec changes
The new US short selling rules: what’s going to be difficult for compliance officers?
New US short selling rules bring challenges for compliance officers: expanded reporting, XML filings, issuer thresholds, and daily position tracking.
Why you should care about the latest SEC disclosure regulations
The latest SEC disclosure regulations have brought significant changes to beneficial ownership reporting and short sale disclosure rules.
SEC: Changes to Private Fund Reporting for US Investment Advisers
On 10 August 2022, the SEC voted 3-2 to propose amendments to Form PF (‘the Form’).
SEC Proposes Changes to Section 13 and Short Sale Requirements
Dave Polonsky gives a run through of the new, proposed changes to beneficial ownership and short-selling reporting by the SEC.
SEC Proposes Short Sale Disclosure Rule
The Securities and Exchange Commission proposed new Rule 13f-2 to increase market transparency regarding short selling.
SEC Proposes Amendments to 13G and 13D Beneficial Ownership Reporting
An overview of the proposed changes to Section 13G and Section 13D by the SEC, the first of their kind in more than 40 years.
SPACs and what you need to disclose under Section 13 of the SEA
Special Purpose Acquisition Companies (SPACs) are on the rise, but SPAC data providers are not about to provide necessary SPAC reporting under Section 13 of the Securities ...